Organisation: US Securities and Exchange Commission

WSJ: DOJ, SEC investigate Silicon Valley Bank collapse

15 March 2023

Counsel Watch: the lawyers behind the latest sanctions designation challenges

In the latest Counsel Watch, the lawyers advising in the latest UK and European Union sanctions designation cases, and the firms taking the helm for commodity conglomerates Trafigura and Glencore in their latest UK legal battles.

13 March 2023

SEC reaches FCPA bookkeeping settlements with Rio Tinto, gambling company

Rio Tinto will pay $15 million to resolve allegations that it violated the FCPA’s books and records provisions as a part of its work in Guinea, while an Irish gambling company will pay $4 million for similar violations connected to lobbying efforts in Russia.

07 March 2023

SEC to push diversity in hiring

“We can only better serve investors across this country when we reflect those investors,” the agency’s enforcement director, Gurbir Grewal, said.

01 March 2023

In-house lawyers call out SEC’s law firm subpoena

The Association of Corporate Counsel warned that in-house lawyers could “face a barrage of subpoenas from all sides” if a court forces Covington & Burling to hand information about its business clients to the US securities regulator.

22 February 2023

3M teases potential settlement with US over alleged corruption in China

The announcement comes more than three years after the manufacturing giant launched an internal probe into potential misconduct tied to business groups in China

09 February 2023

SEC requests documents from SocGen over personal messaging use

09 February 2023

SEC sues Covington seeking client information in cyber hack probe

Covington & Burling accused the SEC of trying to “pry client confidences from an innocent law firm to assess whether any securities violations have taken place”.

12 January 2023

SEC punishes McDonalds, ex-CEO for market disclosure breaches

Two of the SEC’s own commissioners objected to the regulator’s decision to punish McDonald’s despite accepting that the company was a victim of its former CEO’s misconduct.

09 January 2023

ICYMI: News developments over the holidays

A very Happy New Year from all of us at Global Investigations Review. Catch up on the news you may have missed over the holidays, including an OFAC settlement, a VimpelCom-linked fine imposed on EY in the Netherlands, and another end-of-year leniency agreement in Brazil.

03 January 2023

Unlock unlimited access to all Global Investigations Review content